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September 19, 2018

How Misplaced Trust in Advisors Contributed to Massive Fraud Against Pro Athletes
Fraudsters take advantage of athletes’ large cash flows and lack of time to manage their finances, according to a recent report from EY.
Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
Moving offices can be challenging for client-advisor relationships, but experts say FAs can bridge the gap by effectively using technology and establishing a virtual office.
Ex-UBS FA Sues to Vacate Finra Award
Michael Miller says Finra arbitrators violated the self-regulator’s procedures by failing to disclose information.
Cetera Loses $300M Advice Practice to Key Rival
But LPL has lost another veteran recruiter, this time to Fidelity.
Video
Explainer: What Is Regulation Best Interest?
Earlier this year, the Securities and Exchange Commission proposed a new rule called Regulation Best Interest, which aims to ensure that brokers put their clients’ interests above their own. But the SEC’s 400-page proposal does not define “best interest,” leading to industry questions. This is the latest video in Ignites' Explainer series, which offers primers on oft-used but rarely explained terms, concepts and trends.  Video [ 3:45 ]   Transcript  
Ex-Advisor Fined Over Lying to Investors
Thomas Caufield allegedly fraudulently raised more than $6 million in a Ponzi-like scheme.
SEC Chair More Likely to Move His Agenda with New Commissioner
The confirmation of Elad Roisman will help SEC Chair Jay Clayton on deregulatory issues and cryptocurrency focus, experts say.

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